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Aleph@UF: Series Searching and Treatment

Cataloging procedures and policies

Last updated January 2020 by Jorge Gonzalez

Series Searching and Treatment

 

Verifying form of heading and series treatment

Series headings in Aleph bib records must follow NACO guidelines.  The form of heading and the series treatment must be verified in the Library of Congress NACO Authority File (NAF) in OCLC Connexion or in LCA10, the Aleph copy of the NAF.  The series should also be checked in UXU10, the Aleph local shared authority file, in case UF’s local treatment differs from the NAF treatment.

LCA10 records are continually updated with changes to the NAF; UXU10 records are not. While it may be inefficient to perform the same search in both LCA10 and UXU10, the local file contains historical treatment of series not found in LCA10. The local file will contain information on whether UF classes the series as a whole or separately, whether traced or not, etc.

New series authority records

New series authority records are submitted to the NAF by members of the Florida NACO Funnel and independent NACO libraries. If at all possible, series authority records should not be created in UXU10 because catalog records do not link there.  But UXU10 still contains the decisive local treatment for series.

A series authority record should be created in the NAF when not found there and saved in the local OCLC authority file with name and date in 690, handing a printout to Dave.

Modifying existing series authority records

If there is a series record in the NAF but UF’s treatment differs from the NAF treatment, add UF’s series treatment to the NAF record if possible.  In general, the following fields may be added by UF (as PCC participant): 050 _4, 642, 644, 645, 646.  Subfield $5 FU may often be added to an existing field if needed.  Do not add fields/subfields if local treatment matches what is on the record. If following DPCC practice a $5 FU is not needed on the record.

Generally speaking, UF can add its local series treatment to an NAF record:

  1. if it differs from the treatment(s) already indicated on the record, or,
  2. if its treatment matches and no other NACO library has added its local treatment on the record

Otherwise, if there is an existing UXU10 record, modify it to indicate UF’s practice.  If there is not a UXU10 record, copy the NAF record from LCA10 to UXU10 and modify the record to indicate UF’s practice.

Guidelines for creating and modifying series authority records

New series authority records and changes to existing series authority records should follow guidelines in the MARC 21 Format for Authority Data  (https://www.loc.gov/marc/authority/), the LC Guidelines Supplement (https://www.loc.gov/catdir/cpso/z1andlcguidelines.html ), the Series Training for PCC Participants: Series Statements and Series Authority Records (https://www.loc.gov/catworkshop/courses/naco-full%20series-RDA/course%20table.html) and LC’s Descriptive Cataloging Manual, Section Z1: Name and Series Authority Records (https://www.loc.gov/catdir/cpso/z1andlcguidelines.html).  [A PowerPoint presentation about editing NAF series records to show UF’s local series treatment should be available soon.]

Series headings in bib records

The guidelines for series headings in OCLC bibliographic records/Aleph bib records state that there should only be one 490 field per series heading. For the tracing practice (490 Indicator 1), prefer the PCC tracing practice found in the NAF.

If the OCLC master bib record is in conflict with the tracing practice in the NAF, the OCLC master bib record may be corrected as below according to PCC guidelines and the Descriptive Cataloging Manual Section Z1:

If the series is untraced in the OCLC master bib record, edit the record to trace the series (change 490 1st Ind 0 to a 1 and add a corresponding 830).

490 0_   Colección Muchas Obras  à  490  1_    Colección Muchas Obras, and

 830   _0    Colección Muchas Obras.

If the series is traced in the OCLC master bib record, do not edit the record to untrace the series.

Libraries are encouraged to use the NAF/PCC practice for series analysis and classification. Individual libraries may, however, choose to have different local practices for analysis and classification. An Aleph bib record for a series that is classed together in NAF/PCC practice should include the classed together call number provided in the NAF authority record.

The PCC/NACO default practice is to trace a series.  However, we may decide to not trace the series in some K-level and collection level records. For newly cataloged non-PCC records we may decide to not trace the series or to use quoted notes in 500 fields.

SUL practices can be found at https://falsc.libguides.com/ld.php?content_id=46390706 (Shared Bib Guidelines) in sections 3.3.3.1, 3.3.3.2, 3.4.9 and 5.0 (Aleph Authority File Maintenance)

SUS local series

The Shared Bib has adopted the use of the 89X series added entry fields defined in OCLC's Bibliographic Formats and Standards (http://www.oclc.org/bibformats/en/8xx.html) for SUS individual institution locally created series.  UF does not use 89X fields (per PCC preferred use).  When overlaying an existing Aleph bibliographic record with a more current OCLC record, ensure that any local series headings in the Aleph record 89x fields are retained.

Series with ISSN

The ISSN is a number used to identify serials.  Many serial titles can also be treated as a series and will still have the same ISSN.  If a serial title is going to be treated as a series, a separate series authority record must be created if there is none available.

Supplement A.: Aleph Series Authority File Maintenance

[contents incorporated in preceding sections?]

UF should refrain from adding new authority records to the merged local authority database (UXU10). An authority record should be created in Library of Congress NACO Authority File (NAF) when not found in the NAF or OCLC series authority list and saved in the local OCLC authority file with name and date in 690, handing a printout to Dave.

If local treatment of series will differ from an existing established series, treatment should be modified with local note and $5.

Supplement B. Cleanup of existing authority record

[contents incorporated in preceding sections?]

If local treatment in series title authority record does not match what is local practice. NAF record only needs local treatment added if it is UF (as PCC participant) needs to add a different local practice than the national record. Changes to the record must follow Marc21 Format guidelines and LC’s Descriptive Cataloging Manual, Section Z1: Name and Series Authority Records.

The following fields may be added by UF (as PCC participant) if different from national-level treatment: 050 _4,  642, 644, 645, 646. Do not add changes if local decision same to what is on record. If following DPCC practice a $5 FU is not needed on record.

 

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